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Investment Management Institute 2011
Chair(s):
Barry P. Barbash, Paul F. Roye
Practice Area:
Banking, Corporate & Securities, Litigation
Published:
Feb 2011
i
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ISBN:
9781402415333
PLI Item #:
28697
CHB Spine #:
B1865
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. SEC Agenda Outline
Chapter 2. Speech by SEC Staff: Remarks at the 2010 ALI-ABA Conference on Life Insurance Company Products, by Andrew J. Donohue, Director, Division of Investment Management, U.S. Securities and Exchange Commission
Chapter 3. Speech by SEC Staff: Luncheon and Keynote Address at NICSA East Coast Regional Meeting, by Andrew J. Donohue, Director, Division of Investment Management, U.S. Securities and Exchange Commission
Chapter 4. Speech by SEC Staff: Keynote Speech at 2010 Retirement Income Industry Association Awards Dinner, by Andrew J. Donohue, Director, Division of Investment Management, U.S. Securities and Exchange Commission
Chapter 5. Speech by SEC Staff: Keynote Address at the ALI-ABA Compliance Conference, by Andrew J. Donohue, Director, Division of Investment Management, U.S. Securities and Exchange Commission
Chapter 6. Speech by SEC Staff: Keynote Address Before the Annual Policy Seminar of the European Fund and Asset Management Association, by Andrew J. Donohue, Director, Division of Investment Management, U.S. Securities and Exchange Commission
Chapter 7. Speech by SEC Staff: Massachusetts Society of CPAs Investment Company InfoShare Program Keynote Address, by Andrew J. Donohue, Director, Division of Investment Management, U.S. Securities and Exchange Commission
Chapter 8. Speech by SEC Staff: Luncheon Address Before a Meeting of the Business Law Section of the American Bar Association Committee on Federal Regulation of Securities, by Andrew J. Donohue, Director, Division of Investment Management, U.S. Securities and Exchan
Chapter 9. Summary of SEC Proposal to Rescind Rule 12b-1 and Adopt New Rules Regarding Sales Charge Limits, and Fund Payments of Distribution Expenses and Service Fees
Chapter 10. SEC Proposal on Mutual Fund Distribution Fees: Role of Fund Directors/Trustees Under the Proposed Rules
Chapter 11. OppenheimerFunds Letter to Elizabeth Murphy, Secretary, U.S. Securities and Exchange Commission, Re: Study Regarding Obligations of Brokers, Dealers and Investment Advisers (Release Nos. 34-62577; IA-3058; File No. 4-606); Proposed Rule and Rule Amendment
Chapter 12. OppenheimerFunds Letter to Elizabeth Murphy, Secretary, U.S. Securities and Exchange Commission, Re: Proposed Rule and Rule Amendments Regarding Mutual Fund Distribution Fees and Confirmations (Release Nos. 33-9128; 34-62544; IC-29367; File Number S7-15-1
Chapter 13. Capital Research and Management Company Letter to Elizabeth Murphy, Secretary, U.S. Securities and Exchange Commission, Re: File Number S7-15-10
Chapter 14. Investment Company Institute Letter to Elizabeth Murphy, Secretary, U.S. Securities and Exchange Commission, Re: Mutual Fund Distribution Fees: Confirmations (File Number S7-15-10)
Chapter 15. T. Rowe Price Associates, Inc. Letter to Elizabeth Murphy, Secretary, U.S. Securities and Exchange Commission, Re: Mutual Fund Distribution Fees: Confirmations (File Number S7-15-10)
Chapter 16. Dodd-Frank Becomes Law: Key Issues for Private Fund Managers
Chapter 17. Dodd-Frank Becomes Law: Key Issues for Private Fund Managers
Chapter 18. SEC, State and FINRA Regulation of Indexed Insurance Products Under Dodd-Frank Act
Chapter 19. Selected Regulatory Developments Affecting Variable Insurance Products and Underlying Funds
Chapter 20. Developments in Employee Benefit Plan Law Outline
Chapter 21. Recent Developments in Litigation Involving Mutual Funds and Investment Advisers
Chapter 22. The Investment Management Institute: Enforcement Trends and Themes
Chapter 23. Compliance and Inspections Outline
Chapter 24. The Securities and Exchange Commission’s New “Pay-to-Play” Requirements
Chapter 25. Letter to Dorothy A. Berry, Governing Council, Independent Directors Council and Jameson A. Baxter, Chair, Mutual Fund Directors Forum, from Michael S. Didiuk, Attorney-Advisor
Chapter 26. Speech by SEC Staff: Remarks at the CCOutreach National Seminar, by Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Chapter 27. Professional Responsibility
Chapter 28. Rule 12b-2: Transitional or Transformational?
Chapter 29. SEC Proposal to Replace Rule 12b-1 with New Distribution Fee Rules
Chapter 30. Current SEC Initiatives: A Roadmap for Asset Managers
Index
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